Matthew R. Brearley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew R Brearley, CFP®, who also goes by Matthew Richard Brearley, Matthew R Brearley, Matthew Brearley, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2007. Matthew had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
September 23, 2019 - March 30, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 18, 2019 - March 27, 2021
FIDELITY BROKERAGE SERVICES LLC
October 30, 2018 - September 4, 2019
BB&T SECURITIES, LLC
October 10, 2018 - September 4, 2019
BB&T SECURITIES, LLC
December 2, 2008 - March 7, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 20, 2008 - March 7, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 9, 2007 - October 14, 2008
NBT CAPITAL MANAGEMENT, INC.
June 18, 2007 - September 22, 2008
CADARET, GRANT & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/25/2022
General Securities Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
